Omslagafbeelding van de show Fines & Wines

Fines & Wines

Podcast door TRADEliance

Engels

Business

Tijdelijke aanbieding

2 maanden voor € 1

Daarna € 9,99 / maandElk moment opzegbaar.

  • 20 uur luisterboeken / maand
  • Podcasts die je alleen op Podimo hoort
  • Gratis podcasts
Begin hier

Over Fines & Wines

Fines & Wines is a podcast by TRADEliance - a consulting firm for firms in the U.S. financial industry focused on Trading Operations and Compliance issues. Listen in as Jesy and Kat discuss their take on some of the recent disciplinary actions shaping the financial industry over a glass of fine wine. Though these episodes are intended to be casual, and a fun take on discussing regulation, our consultants are serious when it comes to helping you out. www.tradeliance.com

Alle afleveringen

13 afleveringen

aflevering When Complex Rules Cause Complex Issues artwork

When Complex Rules Cause Complex Issues

In this episode, TRADEliance founders, Jesy and Kat, review a high-profile enforcement action with a lot to unpack.  So, pour yourself a glass of wine and listen as they discuss:  * Failing to reasonably supervise the firm’s maintenance and reporting of accurate and complete trade, order, and position data such as:    * Blue Sheets.  * Reporting fractional shares to TRF and CAT reporting.  * Mismarking option orders origin code.  * Customer option positions to LOPR.  * The firm's short interest positions. * Executing trades during trading halts and failing to comply with Reg NMS to address extraordinary market volatility. Also, send your recommendations for new wine openers to solutions@tradeliance.com [solutions@tradeliance.com]! Read the FINRA Press Release here [https://www.finra.org/media-center/newsreleases/2025/finra-orders-robinhood-financial-pay-375-million-restitution].   TRADEliance consultants have the practical experience in Trading Operations & Compliance that help you achieve results.  For a free needs assessment, contact solutions@tradeliance.com [solutions@tradeliance.com] Support the show [https://www.buymeacoffee.com/finesandwines] Support the show [https://www.buymeacoffee.com/finesandwines]

16 mei 2025 - 26 min
aflevering Enforcement Year in Review 2023 artwork

Enforcement Year in Review 2023

This episode focuses on the trends in FINRA Enforcement over the course 2023.  TRADEliance discusses a several high level trends before doing a more in depth discussion on two topics: Manipulative Trading and Market Access.  *  Jesy and Kat crack open some mediocre bubbly to celebrate this episode. * Firms should take note of conducting thorough testing to prevent and detect system issues. * Many of the trends in enforcement also highlight the need for training. * Other topics discussed include: * Trade Confirmations * Recordkeeping  * 605/606 * TRACE Trade Reporting  * LOPR  * Private Placements  * Reg Sho  * Best Ex  * Market Orders for New Issues in the Secondary Market  * Marking to Market Surveillance  * CAT  * Oversubscription of Partial Tender Offers  For information on any of the cases discussed, contact solutions@tradeliance.com [solutions@tradeliance.com] Support the show [https://www.buymeacoffee.com/finesandwines]

9 nov 2023 - 25 min
aflevering Best Ex vs. Fair Pricing vs. Reasonable Comp artwork

Best Ex vs. Fair Pricing vs. Reasonable Comp

This episode takes a slightly different approach!  Listen in as TRADEliance discusses the difference between best ex, fair pricing and reasonable compensation while highlighting some cases that support these differences.   * Best Execution:  How is the Order Handled ?  * Fair Pricing: What is the actual price to the client?  * Reasonable Compensation: What is the BD entitled to charge for that trade?  * Are you supervising these topics separately?  The disciplinary cases discussed in this episode are listed below: * Best Execution Case #1 [https://www.finra.org/sites/default/files/fda_documents/2014041808601%20Barclays%20Capital%20Inc.%20CRD%2019714%20AWC%20va%20%282022-1667607612759%29.pdf] * Best Execution Case #2 [https://www.finra.org/sites/default/files/fda_documents/2014041813501%20Deutsche%20Bank%20Securities%20Inc.%20CRD%202525%20AWC%20sl%20%282022-1649377217179%29.pdf] * Best Execution Case #3   [https://www.finra.org/sites/default/files/fda_documents/2017054188601%20Aegis%20Capital%20Corp.%20CRD%2015007%20AWC%20jlg%20%282021-1618100403356%29.pdf] * Fair Pricing Case #4 [https://www.finra.org/sites/default/files/fda_documents/2012030738501%203-19206%20%20J.W.%20Korth%20%26%20Company%2C%20LP%20CRD%2026455%20SEC%20Decision%20jlg%20%282022-1651710178997%29.pdf] * Fair Pricing Case #5 [https://www.finra.org/sites/default/files/fda_documents/2016050321201%20The%20GMS%20Group%2C%20LLC%20CRD%208000%20AWC%20sl%20%282021-1616372396281%29.pdf] * Reasonableness of Compensation Case #6  [https://www.finra.org/sites/default/files/fda_documents/2019061634801%20Crescent%20Securities%20Group%2C%20Inc.%20CRD%20114993%20AWC%20gg%20%282022-1666830010932%29.pdf] * Reasonableness of Compensation Case #7  [https://www.finra.org/sites/default/files/fda_documents/2020065107401%20Robert%20W.%20Baird%20%26%20Co.%20Inc.%20CRD%208158%20AWC%20lmp%20%282022-1664670000349%29.pdf] Enjoy! Support the show [https://www.buymeacoffee.com/finesandwines] Support the show [https://www.buymeacoffee.com/finesandwines]

15 mrt 2023 - 21 min
Super app. Onthoud waar je bent gebleven en wat je interesses zijn. Heel veel keuze!
Super app. Onthoud waar je bent gebleven en wat je interesses zijn. Heel veel keuze!
Makkelijk in gebruik!
App ziet er mooi uit, navigatie is even wennen maar overzichtelijk.

Kies je abonnement

Meest populair

Tijdelijke aanbieding

Premium

20 uur aan luisterboeken

  • Podcasts die je alleen op Podimo hoort

  • Geen advertenties in Podimo shows

  • Elk moment opzegbaar

2 maanden voor € 1
Daarna € 9,99 / maand

Begin hier

Premium Plus

Onbeperkt luisterboeken

  • Podcasts die je alleen op Podimo hoort

  • Geen advertenties in Podimo shows

  • Elk moment opzegbaar

Probeer 7 dagen gratis
Daarna € 13,99 / maand

Probeer gratis

Alleen bij Podimo

Populaire luisterboeken

Begin hier

2 maanden voor € 1. Daarna € 9,99 / maand. Elk moment opzegbaar.